SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
SEC’s White to Provide ‘Clarity’ on Her Fiduciary Stance
By Melanie WaddellWhere does SEC Chairwoman Mary Jo White stand on a uniform fiduciary rule? No one knows, but that may soon change.
November 03, 2014
SEC Sanctions Schwab, TD Ameritrade, 11 Others on Puerto Rican Junk Bond SalesThe SEC Monday sanctioned 13 firms under MSRB's minimum investment rule intended to keep retail investors out of higher-risk offerings.
October 31, 2014
Dodd-Frank Rulemaking Like 'Shoveling Manure': SEC's GallagherThe SEC won the Dodd-Frank booby prize, and we are still paying the price over four years later, said SEC Commissioner Daniel Gallagher.
October 30, 2014
SEC Enforcement: Layne Christensen Fined $5M on Bribery ChargeMeanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
October 29, 2014
SEC Charges Sands Brothers With Custody Rule ViolationsSEC charged Sands Brothers and three of its top officials, including its CCO, with failing to provide timely statements on the firms private funds.
October 29, 2014
House Dems call for SEC crackdown on corporate anti-whistleblower practicesHouse Democrats say overly restrictive nondisclosure agreements, for example, threaten agencys whistleblower program.
October 28, 2014
Wyly widow says she was insolvent after billionaire’s deathTexas businessman Charles Wyly had no significant life insurance when he died in a 2011 car crash.
October 27, 2014
SEC Taking ‘Deep Dive’ at Accredited Investor DefinitionSecurities and Exchange Commission Chairwoman Mary Jo White says that the agency will take a deep dive into how to revise its decades-old accredited investor definition.